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[4] Financial implications, [3] Resources, [1] Policies and [2] Workflow

Monica HammesCHELSA Stakeholder Workshop, 5 November 2007

There are very many options - choose the ones best suited to

your organisation’s culture and your resources

•have long term implicationswill determine processes, workflow, resource needs, sustainability and costsare university wide issuesneed to be discussed and [at least] agreed upon before you start

Policies and underlying assumptions

Our universities do postgraduate work that is worthy of global exposure because it contributes to global knowledge The university is both an information consumer and information producer We take responsibility for dissemination of this new knowledgeThe library plays a pivotal role in the scholarship chain and is therefore a logical participantGoal is to provide a service of high quality at an affordable price ROI

Assumptions

Policy is a governance mechanism: you need a small but enabling policy framework, well aligned with other university policies and revised from time to timeCompulsory/voluntary submission (implications)Content: what to include/exclude, organization

Digitization of old TDsAuthentication and certification

Copyright and IP exploitationAccess

OARestrictions and embargoes

Policy framework (1)

StandardsSubmission policy Quality control policyMetadataHarvestingNETD participationPreservationFees payablePriorities Roles and responsibilities

Policy framework (2)

Policy Making GroupDecision making w.r.t. standards, services, functionalityLibrary directorIT directorDVC for ResearchArchives, Printing officePostgraduate office

Policy framework (3)

Copyright belongs to UP

UP Yearbook 2007

Policy examples

Content

All doctoral theses and research masters dissertations should be submittedOther (limited) dissertations will only be included at direct request of the department

Policy examples

Submission mandate

UP Yearbook 2007

Policy examples

Restrictions and embargoes

Supervisors and students may request that a t/d be withheld/restricted for some time on account of one of the following

Confidentiality due to sensitive information (political, national security, prescriptions of a funder of the research)The supervisor and/or student are negotiating with publishers and/or patent organizations and do not want the content to be in the open during this interimLength of period currently under discussion

Policy examples

Access

This is an OA repository with two access options: - OA to the entire international community - Access restricted to the UP campus

All restricted/embargoed theses/dissertations are stored off-line until the embargo period has expired

”Mixed” ETDs regarded as restricted

Policy examples

Definition

Workflow is the representation of a “predictable” and (at least somewhat) structured business process during which tasks, documents and information are passed from one participant to another for action according to a set of procedural rules in order to meet a specific objective within a specific time frame. Part or all of it may be automated.

Workflow – definition

Workflow design: elements 1

TaskWhat needs to be done at this stage of the processwrite thesis, convert documents to PDF, submit thesis, do quality control, secure documents, approve submitted thesis

RoleThe set of knowledge/skills/responsibilities which is needed to perform and complete the taskfamiliarity with PDF conversion software, knowledge of the linking capabilities, awareness of the institution’s rules, could be the responsibility of either the author (student) or someone in the etd office or an outside person who will be paid by the student

Workflow – design elements (1)

Workflow design: elements 2

TriggerThe event which alerts you to the incoming task

thesis approved by examining body

InformationNecessary to complete the task

institution’s rules (practical interpretation of policy) and standards, guidelines for doing the task

Workflow – design elements (2)

Workflow analysis: elements 3

Added Value The positive change that was brought about by performing the task and which is the actual reason for doing the taskreadability, navigation, dependable format for archiving

ConditionThe status of the etd after the task was performed

PDF document with good navigation complying with the standards of the organization

Workflow – design elements (3)

Workflow analysis: elements 4

RouteThe direction of the flow and the “vehicle”after completion it will be submitted either online to the etd system and/or on a disk to the faculty’s post-grad officeService Level AgreementAgreed upon standards and time framesetds are processed according to a priority system

Workflow – design elements (4)

MessageTo be distributed after completing the taskno messages

Archive

CD

Workflow for UPeTD submission 2007

M

Check, acknowledge, sort

Upload and compile

metadata

Fac Admin approve

Supervisor approves

Student self-submits

UPeTDServer

Publish

Studentconverts PDF

WWW Metadata

Acknowledge &Quality controlM

PDF+

M

Library CatalogueSACatWorldCat

New policy on restricted theses: record of metadata only – bound copy and CD stored off-line in a safe location for 2 years

Deliver bound copies and CDs to UPeTD office

Three good reasons to take Workflow seriously

1. Resource constraints will necessitate a high level of efficiency.

2. Uneven inflow (typical of TDs) needs to be balanced with service level agreements for smooth output and priority demands.

3. Design workflow in co-operation with other role players – try to make it part of a bigger flow.

4. Work towards automated workflow as far as possible.

5. Work towards simplicity and the shortest routes.

Workflow – take it seriously

Service level agreements are formal or informal ‘contracts’ describing the expectations between parties and the way in which these will be fulfilled what service will be rendered what will it cost when (how soon) will it be done how will you be informed how will a breakdown in service be corrected

More about service level agreements

Automating Workflow (cont)

An automated workflow system should facilitate the process in the following ways 

Notify a participant that work is at hand (eg by e-mail) Provide the user with the proper tools to do the workProvide the tool with the necessary information already flowingAllow the participant to see where his task fits inAlert the participant to incomplete tasks

Automated workflow

Automated workflow built into the ETD-db system helps the student to complete the submission task in the correct order and with the necessary tools and information available.

ETD admin staff are alerted to the appearance of newly submitted etds as well as messages from students

Functionality for quality control an approval is available on the system.

When the etd is approved a message will be sent to the student, the supervisor and all other role players

Human resources

Administration: records management, interfacing with other role playersSecretarial: document conversion, submission Management: planning, resourcing, lobbying, quality control, interfacing with other role playersMetadata creationClient service: workshops, training, support, marketing, end user support

Resources (1)

Human resources

IT: system configuration, installation of upgradings, programming, system improvement, problem solving, maintenance, etc.Depending on university policy this may be the responsibility of the University’s IT Department.Without the necessary expertise on campus remote hosting should be considered.Good general IT awareness necessary

Resources (2)

DVC for Research and Postgraduate Studies Research Office of the University Supervisors Faculty Offices for Postgraduate Studies University Dept IT Support University Legal/Registrar’s Office Other library staff Printing office Users from all over the world International etd community

Managing important interfaces

Separate ETD OfficePart of Open Scholarship/Knowledge Management OfficePart of IR OfficePart if Library ITPart of Technical Services (Cataloguing)

What skills and capacity is already available

Where to position your ETD operation

IT infrastructure

HardwareServer with associated storage space (6-8 Mb/TD)Trend: campus shared services, storage and backupSoftwareIR software, eg DSpace, Eprints (open source), Manikin and other enhancements

Adobe or similar open source software (Cute PDF) for pdf conversionArchiving solution

Resources (3)

Startup costsHardware for IR: Dell PowerEdge 2950, 4Gb RAM, 3X500 Gb hard drive, R39000 / or R15000Scanner(s)IT HR costs

Financial implications

Running costsHuman resources: 2 FTEs, e.g.UP (500+ TDs/year): 1 FT clerical assistant, 1/4 manager, 1/10 IT, theses upgrading outsourcedOffice space and operational costsMarketingIT ongoing maintenance, upgrading, backups etc, 5 year replacement

Financial implications

Thanks to Irene, Charl, Wouter and Wynand…

and to you!

[email protected]

Processes skills and positioning

Admin Records AcquisitionsDocument preparation

Secretarial: PDF, navigation etc

Students, departments, Libr

IR management IT and management

IT, Cataloguing, librarians, ETD dept

Quality control ETD dept, Cat dept

Cataloguing Cat DeptClient (internal and external) support

Front line, ETD dept

Mandatory submission makes sense (10)

23

UPeTD Collection Growth

0

100

200

300

400

M 37 172 315 273 207

D 17 113 143 213 24

2003 2004 2005 2006 2007

Total 1514

Workflow: successful examination completed, necessary changes made (2)

Supervisor signs off the T/D with necessary documentation, declarations and permissions

• Student submits paper and electronic copies to faculty’s postgraduate office [PGO] and pays submission fee

• PGO sends T/Ds with graduation programme, forms and receipts to UPeTD Office

• UPeTD adminstrator checks submission, creates record in admin system, deals with embargoed T/Ds, sends paper copies to cataloguers with documentation

Example

TaskSubmit etd online

RoleAuthor

TriggerPDF completed

Added valueMetadata

ConditionPDF files uploaded and metadata added

InformationUPeTD standards, Submission instructions

TaskQuality control

RoleQuality controller

TriggerVisible in admin system

Added valueUPeTD standards met

ConditionPDF+

InteractionWith students and supervisors

RouteCross border to UPeTD Admin

RulesUPeTD to do quality control

Messages

RouteBack to student for corrections or go to Approval

RulesStudent to do correct-ions if necessary

MessagesCorrection messages

Maak dit sin?

Sources

1. Attinger, ML 1996, ‘Workflow: a terminology primer’ Records Management Quarterly,vol. 30, issue 3,pp 3-7, viewed 1 Oct 2003, Business Source Premier: EBSCOhost.

2. Brunwin, V 1994, ‘A Survivor's Guide to Workflow’ Management Development Review, vol. 7, no.4, pp. 27-29, viewed 1 Oct 2003, Emerald.

3. Muller, U 2003, ‘A workflow model for digital theses and dissertations’ delivered at Next steps – electronic theses and dissertations worldwide, Berlin.

4. The workflow portalhttp://www.e-workflow.org/

Key benefits of Workflow

•Improved efficiency •Aligning of resources•Correct level of staffing•Managing work complexity•Accelerate and facilitate collaboration•Leverage knowledge across organisation

Key benefits of Workflow (cont)

•Improved customer service •Flexibility for redesign in line with changing business needs•A tool for diagnosing problems and for business process improvement: streamlining and simplification and the elimination of cumbersome, wasteful processes•Useful to influence the process and policy

Final hints

•Work towards error prevention and not error correction•Manage the borders with good service level agreements and high levels of trust•Define roles well•Articulate policy well, translate it into simple rules and make it available to everyone•Revise often